Business Conduct Compliance Examiner (12-month contract)

Canadian Investment Regulatory Organization; Toronto; Hybrid; CAD 60,000 - 100,000; Full time

Job summary

Join a forward-thinking organization dedicated to maintaining high regulatory standards in the investment industry. As a Business Conduct Compliance Examiner, you will play a crucial role in protecting investors and ensuring compliance with evolving business models. This dynamic position involves conducting thorough examinations, assessing risks, and collaborating with a talented team. You will have the opportunity to contribute to a culture of performance while enjoying a hybrid work environment that promotes work-life balance. If you are passionate about compliance and making a difference in the financial industry, this role is perfect for you.

Benefits

Competitive base salary

Performance based bonus

Hybrid work environment

Employer paid Health Benefits

Defined Contribution Pension Plan

Paid flex days

Maternity/Paternity Leave top up

Paid continuous learning

Qualifications

• 2-4 years experience in compliance, audit or supervisory roles.
• Bilingual proficiency in English and French is required.

Responsibilities

• Conduct field reviews of compliance activities and assess regulatory standards.
• Document findings and collaborate with team members to compile reports.

Skills

Compliance

Audit

Supervisory Function

Effective Communication

Attention to Detail

Judgment

Teamwork

Multi-tasking

Education

General Undergraduate Degree

Advanced Certifications/Industry Accreditation

CPH (Conduct and Practices Handbook Course)

CSC (Canadian Securities Course)

Job description

Business Conduct Compliance Examiner (12-month contract)

Job Category: Professional / Technical

Requisition Number: BUSIN002363

Posted: March 24, 2025

Location: Toronto Head Office
40 Temperance Street
Suite 2600
Toronto, ON M5H0B4, CAN

Status: Permanent Full-Time (Hybrid)

Day in the life of:

As a self-regulatory organization, the Canadian Investment Regulatory Organization (CIRO) takes our responsibility of setting high-quality regulatory and investment industry standards seriously, while protecting investors and supporting healthy capital markets in Canada.

In Business Conduct Compliance, we take great pride in what we do. By joining our dynamic and collaborative team of industry professionals, you will have the opportunity through the examination process to make a difference for investors and the capital markets.

As a key member of the team, the Business Conduct Compliance Examiner conducts field reviews of sales and business conduct compliance activities of Dealer Member head office and business locations. You will interpret and apply CIRO Dealer Member Rules to the evolving business models of firms. You will contribute to a performance culture, while maintaining a healthy work-life balance, having the ability to participate in the work-from-home program once extensive training has been completed.

Core Responsibilities:

• Support the development of a comprehensive examination plan by conducting an in-depth risk assessment of the firm’s business activities. Identify high-risk areas and document the risk levels of assigned examination modules to ensure examination objectives are achieved. Assess risks associated with new products or business lines, tailoring examination procedures to address compliance with regulatory requirements.
• Perform examinations of Dealer Members by conducting walkthroughs to understand workflows and document processes. Evaluate compliance with regulatory standards and assess the effectiveness of internal controls under supervision. Collaborate with team members to ensure examination objectives are met. Complete fieldwork within the allocated timeline, addressing review notes promptly to maintain examination quality and efficiency.
• Clearly document deficiencies and communicate findings to Dealer Members. Collaborate with Managers to compile comprehensive examination reports, ensuring that findings are well-supported. Assist with the review Dealer Members’ remediation plans for compliance with regulatory requirements.
• Complete training in individual examination modules and develop a thorough understanding of CIRO Rules.
• Participate in efforts to improve examination processes and methodologies, providing feedback to enhance program efficiency and effectiveness.
• Monitor developments in regulatory requirements, industry trends, and best practices to ensure examination procedures remain relevant and up to date.
• Interact with other compliance departments for planning, exam scheduling and info sharing purposes.
• Draft examination findings in consultation with the lead examiner and assist in the preparation of the examination report that is written in plain language.

Key Skills and Competencies:

Must-haves:

• General undergraduate degree / Advanced certifications/ Industry Accreditation
• More than 2, less than 4 years’ experience in compliance, audit or supervisory function with a Dealer Member, or 3 years other related employment with a securities regulatory organization
• CPH (Conduct and Practices Handbook Course)
• CSC (Canadian Securities Course)

Nice to Haves:

• Knowledge of securities industry, CIRO Dealer Members and their activities.
• Ability to quickly understand the risks associated with new business lines or products and to formulate practical examination procedures to address them.
• Effective written and oral communication skills
• Attention to detail and ability to exercise sound judgement
• Professional presentation and manners
• Ability to work independently in a team-oriented environment.
• Ability to multi-task, adhere to timelines and work under pressure in different environments
• Interest in ongoing learning and professional development in a compliance capacity
• Motivated to make a difference
• Ability to travel
• The following courses are an asset: Derivatives Fundamental Course, Branch Managers Course and Chief Compliance Officers Qualifying Examination Investment Dealer Compliance Course

What we offer:

• Competitive base salary in alignment with market
• Performance based bonus
• Hybrid work environment
• Employer paid Health Benefits and Spending Account that offer flexibility to meet your individual or family needs as of day one.
• Defined Contribution Pension Plan with company matching that starts on your first day of employment.
• Paid flex days and sick days
• Maternity Leave Of Absence /Paternity Leave Of Absence top up
• Paid continuous learning and continuing development including designations.

Why the Canadian Investment Regulatory Organization (CIRO):

Our purpose and our impact:

With offices across Canada - from Vancouver to Montreal, our mission is to promote healthy capital markets by regulating fairly and effectively so that investors are protected and confident investing in their futures. As a regulator, we understand that we are all investors. Therefore, a career with us is a career with purpose, protecting our future.

Culture and Working Environment:

Life at CIRO is purpose and performance- driven. We foster an inclusive culture where teamwork, a forward-thinking attitude, and integrity are at the core of everything we do. This creates an environment where employees thrive, grow, and are empowered to learn and contribute their best.

Joining CIRO means becoming part of a dynamic and transparent organization that values accountability and is committed to maintaining the highest standards of regulatory oversight in the financial industry.

Our Commitment:

CIRO is an equal opportunity employer and is committed to providing employment accommodation in accordance with the Ontario Human Rights Code and the Accessibility for Ontarians with Disabilities Act, 2005 (AODA). CIRO will provide accommodation to job applicants with disabilities throughout the recruitment process. Should you require accommodation, please contact Human Resources.

CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. This position requires the ability to communicate with employees in CIRO regional offices and other CIRO stakeholders across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.

While we appreciate receiving applications, only those applicants who closely meet the position requirements will be contacted.